Regulatory Compliance Officer

Role Overview

• Work closely with the Chief Compliance Officer, and other Business Units to ensure that the Company is compliant with its various regulatory compliance obligations
• Assist the Chief Compliance Officer to define the requirements for regulatory compliance and develop compliance risk assessment programs according to the annual compliance plan
• Assist the Chief Compliance Officer to identify risks and recommend solutions and implementation strategies for compliance issues to management and employees of all business units
• Provide compliance training to compliance managers on effectively carrying compliance programs for all employees in order for them to be knowledgeable of organizational policies, and federal/state standards
• Review and revise compliance policies on a regular basis and coordinate with other departments including internal audit and risk management
• Supervise, guide, and counsel compliance teams and monitor their implementation of key compliance strategies, initiatives and action plans
• Oversee internal and external funding sources and budgeting within compliance units to ensure successful implementation of the compliance mission
• Consult and report to the chief compliance officer regarding all compliance related initiatives, corrective actions, and reviews
• Manage the Regulatory Compliance Team
• Ensure that the business operations are executed within the legal and ethical boundaries set by the regulations
• Execution of Compliance Program to recognize areas where the company might be vulnerable to non-compliance
• Assist the BSP/Internal Auditors/External Auditors in conducting its periodic audit with the company

Requirements

• Bachelor’s degree in law, finance, business management, or a related field
• 3-5 years’ proven experience in a Compliance Officer role
• Good knowledge of legal requirements and procedures
• With people managing experience
• Brilliant oral and written communication skills
• Highly-analytical with strong attention to detail

Benefits

• Meaningful Collaborations
• Scalable Growth
• A Space For Bright Ideas